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Laws and Regulations Terms

  1. Jumpstart Our Business Startups Act - JOBS

  2. Jurisdiction Risk

  3. Katie Couric Clause

  4. Large Trader

  5. Legal Lending Limit

  6. Legal Rate Of Interest

  7. Legend

  8. Legislative Overkill

  9. Letter Of Comment

  10. Letters Patent

  11. Lilly Ledbetter Fair Pay Act

  12. Limited Power Of Attorney - LPOA

  13. Liquidated Damages

  14. Listing Requirements

  15. Locked Market

  16. Loophole

  17. Loss Disallowance Rule - LDR

  18. Maintenance Margin

  19. Malfeasance

  20. Market Capitalization Rule

  21. Market Performance Committee

  22. Markets in Financial Instruments Directive - MiFID

  23. Master-Servant Rule

  24. Material Insider Information

  25. Mechanic's Lien

  26. Mineral Rights

  27. Minimum-Interest Rules

  28. Misappropriation Theory

  29. Multijurisdictional Disclosure System - MJDS

  30. National Association Of Securities Dealers - NASD

  31. National Best Bid and Offer - NBBO

  32. National Market System Plan - NMSP

  33. National Treatment

  34. NCUA-Insured Institution

  35. Nevada Corporation

  36. No-Shop Clause

  37. Non-Covered Security

  38. Non-Disclosure Agreement - NDA

  39. Non-Negotiable

  40. Non-Open Market

  41. Non-Resident

  42. Nonfeasance

  43. Nonresident Alien

  44. Notice Filing

  45. Novation

  46. Office Of Thrift Supervision - OTS

  47. Oil Pollution Act Of 1990

  48. Ombudsman

  49. Ontario Securities Commission - OSC

  50. Open-Market Transaction

  51. Option Schedule

  52. Options Backdating

  53. Options Clearing Corporation - OCC

  54. Order Protection Rule

  55. Organic Act of the Department of Labor

  56. Over-The-Counter Bulletin Board - OTCBB

  57. Patent

  58. Patent Reexamination

  59. Periodic Payment Plan Certificate

  60. Poop

  61. Power Of Attorney

  62. Power of Attorney of Property

  63. Pre-Syndicate Bid

  64. Preliminary Prospectus

  65. Preparer Tax Identification Number - PTIN

  66. Price Cap Regulation

  67. Primary Exchange

  68. Principal-Agent Relationship

  69. Private Securities Litigation Reform Act – PSLRA

  70. Pro-Tanto

  71. Promissory Estoppel

  72. Proxy Statement

  73. Prudent Investor Act

  74. Prudent Investor Rule

  75. Prudent-Person Rule

  76. Public Offering

  77. Pujo Committee

  78. Punitive Damages

  79. Qualified Domestic Relations Order - QDRO

  80. Qualified Institutional Buyer - QIB

  81. Quiet Filing

  82. Quiet Period

  83. Quiet Title Action

  84. Rate Of Return Regulation

  85. Recourse

  86. Red Herring

  87. Registered Investment Advisor - RIA

  88. Registrar

  89. Regulation 9

  90. Regulation A

  91. Regulation AA

  92. Regulation B

  93. Regulation BB

  94. Regulation C

  95. Regulation CC

  96. Regulation D - Reg D

  97. Regulation DD

  98. Regulation E

  99. Regulation EE

  100. Regulation F

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Hot Definitions

  1. Disaster Loss

    A special type of tax-deductible loss, similar to a casualty loss, where a loss has been incurred by taxpayers who reside in an area that has been designated as a federal disaster area by the President.

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    The notion that changes or policies designed to alter the course of the economy should be done slowly, rather than all at once.

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    An SEC designation for traders who trade the same security four or more times per day (buys and sells) over a five-day period, and for whom same-day trades make up at least 6% of their activity for that period.

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    A phenomenon in which the general price levels rise (inflation) due to increases in the cost of wages and raw materials.

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    The formal academic study of the relationship between individual satisfaction and economic issues, such as employment and wealth.

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    A social condition arising from the desire to be more wealthy, successful or to "keep up with the Joneses." Affluenza is symptomatic of a culture that holds up financial success as one of the highest achievements.
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